UNEP/CBD/COP/11/INF/33
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/ / CBD/ Distr.
GENERAL
UNEP/CBD/COP/11/INF/33
7October 2012
ENGLISH ONLY
CONFERENCE OF THE PARTIES TO THE CONVENTION ON BIOLOGICAL DIVERSITY
Eleventh meeting
Hyderabad, India, 8-19 October 2012
/…
UNEP/CBD/COP/11/INF/33
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Item 13.9of the provisional agenda[*]
standards, guidance and relevant activities of the organizations that support Parties and other GOVERNMENTS to ADDRESS THE RISKS ASSOCIATED WITH THE INTRODUCTION OF ALIEN SPECIES AS PETS, AQUARIUM AND TERRARIUM SPECIES, AND AS LIVE BAIT AND LIVE FOOD
Note by the Executive Secretary
I.INTRODUCTION
1.Pursuant to decision X/38, the Conference of the Parties (COP) requested the Executive Secretary to convene a meeting of an Ad Hoc Technical Expert Group (AHTEG) to consider ways and means to prevent the impacts and minimize the risks associated with the introduction of invasive alien species (IAS)as pets, aquarium and terrarium species, and as live bait and live food (paragraph 2 of decision X/38).
2.Accordingly, the Executive Secretary, with generous financial assistance from the Governments of Spain and Japan, convened a meeting of the AHTEG on Invasive Alien Species from 16 to 18 February 2011 at International Environment House in Geneva, Switzerland.Some members of the inter-agency liaison group on invasive alien species, includingthe World Trade Organization (WTO), the International Plant Protection Convention (IPPC) and the World Organisation for Animal Health (OIE), and the Convention on International Trade in Endangered Species of Wild Fauna and Flora (CITES) participated in the meeting of the AHTEG.
3.The report of the AHTEG was presented as an information document to the fifteenth meeting of the Subsidiary Body on Scientific, Technical and Technological Advice (SBSTTA)[1]which in its recommendation XV/4 requested the Executive Secretary, in collaboration with the members of the inter-agency liaison group on invasive alien species, to prepare an information document on how the standards, guidance and relevant activities of the organizations could support Parties in addressing the threats from invasive alien species introduced as pets, aquarium and terrarium species, as live bait and live food, and to make it available before the eleventh meeting of the Conference of the Parties.
4.In response to paragraph 1 of section II of recommendation XV/4 the Executive Secretary prepared this document as information for the Conference of the Parties at its eleventh meeting. Section II of the document summarizes the conclusions of the AHTEG. Section III provides information on international standards and guidance collected in collaboration with the Inter-agency Liaison Group on Invasive Alien Species. Section IV summarizes guidance on eradication and mitigation, and section V provides information on opportunities of capacitybuilding to implement the existing international standards and guidance.
5.This document is a preliminary review.Ithas not been formally reviewed by the members of the Inter-agency Liaison Group on Invasive Alien Species. Further guidance on the existing international standards will be posted on the CBD website (
II.CONCLUSIONS OF the AHTEG
6.The AHTEG recognized that the Guiding principles for the prevention, introduction and mitigation of impacts of alien species that threaten ecosystems, habitats or species, annexed to decision VI/23*(Guiding Principles)continue to provide guidance to Parties, other Governments and relevant organizations to address the risks associated with the introduction of alien species as pets, aquarium and terrarium species, and as live bait and live food (UNEP/CBD/SBSTTA/15/INF/1).
7.The AHTEG recognized that the risk fromorganisms, that have a negative impact on plant species, that are introduced as pets, aquarium and terrarium species and as live bait and live food are covered by the IPPC when Parties to the CBD set appropriate phytosanitary legislation, regulations and procedures, and apply the relevant phytosanitary measures in close collaboration with their National Plant Protection Organizations (Official contact point for IPPC at national level). Therefore, risk of biological invasion associated with the pathways of introduction need to be focused on alien animal species, that are not harmful to plants, introduced as pets, aquarium and terrarium species, and as live bait and live food (UNEP/CBD/SBSTTA/15/INF/1).
8.The IPPC covers invasive species that are considered as pests which include any species, strain or biotype of plant, animal or pathogenic agent injurious to plants or plant products, including e.g. weeds and plants themselves in terrestrial and aquatic environment.In the context of alien animal species introduced as pets, aquarium and terrarium species, and as live bait and live food, animal species that are injurious to plants or plant products are considered as pests under the IPPC.(See ISPM No.5 “Glossary of Phytosanitary Terms - Appendix I: Terminology of the Convention on Biological Diversity in relation to the Glossary of phytosanitary terms”[2])
9.Taking into account the existing IPPC standards and the mandate of the IPPC, the AHTEG decided to focus on organisms that are harmful to animals, and that are not injurious to plants, in its report. Note that the term “animal species” used at the AHTEG includes mammals, birds, fish, reptiles, amphibians, invertebrates and zooplankton (any taxa under kingdom Animalia), and it includes any part, gametes or propagule of such species that might survive and subsequently reproduce in accordance with the definition of alien species indicated in the footnote of the Guiding Principles.*
10.It also notes that parasites and pathogenic microorganisms associated with introduced animals and their containers including aquatic medium may pose threats to species of wild fauna and flora and also human health (zoonosis).
11.Regarding organisms other than animals (kingdom Animalia) and plants(kingdom Plantae) the AHTEG suggested to clarify whether fungi which are not in the kingdom Plantaecould be covered by the IPPC[3] (UNEP/CBD/SBSTTA/15/INF/1).
12.The following definitions of terms are used in this document to be consistent with the Guiding Principles* and as suggested by the AHTEG (UNEP/CBD/SBSTTA/INF/1):
(a)Alien species:a species, subspecies or lower taxon, introduced outside its natural past or present distribution; includes any part, gametes, seeds, eggs, or propagules of such species that might survive and subsequently reproduce (the Guiding Principles*);
(b)Invasive alien species:an alien species whose introduction and/or spread threaten biological diversity (the Guiding Principles*);
(c)Pets, aquarium and terrarium species: Those species or lower taxon of the kingdom Animalia kept for personalamusement or companionship, and “aquarium and terrarium species” is subsumed under this term and that scope is restricted to privately-kept animals (UNEP/CBD/SBSTTA/15/INF/1);
(d)Live bait and live food: those species that are not considered pests of plants, introduced as food for animals or human consumption, whose threat to biodiversity is not adequately considered in other applicable regimes(UNEP/CBD/SBSTTA/15/INF/1);
13.In addition, the following terms are used in this document to assist understanding of those contents in the international standards and guidance:
(a)Alien animal species: those species or lower taxon of the kingdom Animaliathat threaten biological diversity which include pest of plants under the definition of the International Plant Protection Convention (IPPC) and hazard under the definition of World Organisation for Animal Health (OIE)(UNEP/CBD/SBSTTA/15/INF/1);
(b)Risk analysis: (i) the assessment of the consequences of the introduction and of the likelihood of establishment of an alien species using science-based information (i.e., risk assessment), and (ii) to the identification of measures that can be implemented to reduce or manage these risks (i.e., risk management), taking into account socio-economic and cultural considerations (the Guiding Principles*).
III. FURTHER COLLABORATIONWITH the inter-agency liaison group
A.The WTO agreement on the application of sanitary and phytosanitary measures
14.When the pathway of introduction is identified as international trade of alien animal species, the World Trade Organization Agreement on the Application of Sanitary and Phytosanitary Measures (SPS Agreement)[4] is relevant toprotecting animal, human or plant health and providing the technical justification.
15.Under the SPS Agreement, Members (of the WTO) have the right to take sanitary and phytosanitary measures necessary for the protection of human, animal or plant life or health (SPS Agreement Article 2). In Annex A of the SPS Agreement, an SPS measure is defined, inter alia, as “any measure applied to protect animal or plant life or health within the territory of the Member from risks arising from the entry, establishment or spread of pests, diseases, disease-carrying organisms or disease-causing organisms”.Another type of measure covered by the SPS Agreement that is relevant in this context is measures applied "to prevent or limit other damage within the territory of the Member from the entry, establishment or spread of pests".
16.With regard to this definition, a footnote inserted to the SPS Agreement clarifies as follows:“For the purpose of these definitions, “animal” includes fish and wild fauna; “plant” includes forests and wild flora; “pests” include weeds; and “contaminants” include pesticide and veterinary drug residues and extraneous matter”.4
17.To harmonize sanitary and phytosanitary measures on as wide a basis as possible, Members of the WTO are required to base their sanitary or phytosanitary measures on international standards, guidelines or recommendations (The SPS Agreement Article 3), which are set by three standardsetting bodies recognized by the SPS Agreement, namely (i) the IPPC for plant health, (ii)the OIE for animal health (including zoonoses), and (iii) the Codex Alimentarius Commission (Codex) for food safety. Codex sets standards related to food additives, veterinary drug and pesticide residues,contaminants, methods of analysis and sampling, and codes and guidelines of hygienic practice. With regard to the risks associated with introduction of live bait and live food, currently food safety for humans is covered by Codex. There are no international standards recognized in the SPS Agreement that explicitly apply to the risks of live animals for consumption (as bait or food) becoming invasive.In some cases, where the live animals for consumption affect animal or plant health, such risks may be covered by the IPPC or the OIE respectively.
18.All of the International Standards for Phytosanitary Measures (ISPMs) are accessible on the IPPC’s web site at
19.The OIE standards (Terrestrial Animal Health Code,[5]Aquatic Animal Health Code,[6]the Manual of Diagnostic Tests and Vaccines for Terrestrial Animals (Terrestrial Manual)[7] and the Manual of Diagnostic Tests for Aquatic Animals (Aquatic Manual)[8]) are available at
20.The adopted standards under the IPPCprovideguidance to contracting parties of the IPPC on Phytosanitary Principles for the Protection of Plants and the Application of Phytosanitary Measures in International Trade, with specific standards covering such areas asrisk analysis, import and export systems, post-border controls and surveillance and reporting on pests and diseases.
21.The OIE Animal Health Codes provide guidance on conducting animal health control measures (e.g. risk analysis, sanitary measures relating to trade, veterinary certification, notification of listed diseases and emerging diseases) and manuals provide guidance on diagnostic methods, and where applicable, vaccines for specific diseases.
B.International standards for phytosanitary measures
22.Food and Agriculture Organization of the United Nations defines the term “Biosecurity” for Food and Agriculture Production (see footnote[9]). Biosecurity measures are taken in some countries to address invasive alien species. Whichcomprise with implementation of the international standards and guidance, and where it does not exist,these countries apply the SPS measures with possible available scientific evidences, using the framework of the SPS Agreement.
23.The international trade of live animal speciesstarts in the exporting country.When an importing country decideson importation of live animal species with appropriate risk analysis, live animals arehandled and shippedto a border area where sanitary and phytosanitarymeasures may be taken at both the exporting country and importing country, including transition countries. After clearance of Customs, the live animals are further transported to post-border area of importing country. Under the SPS Agreement, the international standards, guidelines and recommendations are set to cover the SPS measures throughout the process from exporting countries to importing countries, including the management in post border area of the importing countries to monitor and report on pests and diseases.The international standards are also set for eradication of pests and diseases once their establishment or outbreak is reported.Traders must adhere to the regulations that are set by the authorities of Members.
24.The adopted standards under the IPPC provide guidance to contracting parties of the IPPC on Phytosanitary Principles for the Protection of Plants and the Application of Phytosanitary Measures in International Trade, with specific standards covering such areas as risk analysis, import and export systems, post-border controls and surveillance and reporting on pests and diseases. In the context of preventing and minimizing the risks associated with introduction of alien species as pets, aquarium and terrarium species, and as live bait and live food, the relevant ISPMs include:
(a)Basic principles of phytosanitary measures (ISPM No. 1);
(b)Pest risk analysis (ISPM No. 2, No. 6, No. 11 and No. 21);
(c)Management of shipping, export, import and releases (ISPM No. 3, No. 15);
(d)Phytosanitary certificates (ISPM No. 7);
(e)Pest detection, recording, identification, monitoring and reporting (ISPM No. 4, No.6, No. 8, No. 13, No. 17, No.26, No. 30 );
(f)Pest eradication (ISPM No. 9, No. 28);
(g)Making available lists of regulated pests (ISPM No. 19);
(h)Structure and operation of phytosanitary regulatory system including legislation, regulation, procedure etc. (ISPM No. 12, No. 20, No.32, No. 34, No. 35, No. 36);
(i)Procedure for the inspection and sampling of regulated articles (ISPM No. 23, No.31);
(j)Procedure to identify, assess and manage phytosanitary risks in the country of transit under Customs control (ISPM No. 25);
(k)Terminology (ISPM No. 5).
C.The OIE Animal Health Codes
25.TheOIE Terrestrial Animal Health Code (2012) covers the following in the context of preventing and minimizing the risks associated with introduction of alien animal species, in terms of disease risks in animals and human (zoonosis):
(a)Animal disease diagnosis, surveillance and notification (Section 1);
(b)Risk analysis(Section 2);
(c)Quality of Veterinary Services (Section 3);
(d)General recommendations on disease prevention and control (Section 4);
(e)Trade measures, import/export procedures and veterinary certification (Section 5);
(f)Veterinary public health (Section 6);
(g)Recommendations applicable to OIE Listed diseases (Sections 8 to 15).
26.The OIE Aquatic Animal Health Code (2012) covers the following in the context of preventing and minimizing the risks associated with introduction of alien animal species, in terms of the disease risks in aquatic animals:
(a)Aquatic animal disease diagnosis, surveillance and notification (Section 1);
(b)Risk analysis (Section 2);
(c)Quality of Aquatic Animal Health Services(Section3);
(d)General recommendation on disease prevention and control (Section 4);
(e)Trade measures, importation/exportation procedures and health certification (Section5);
(f)Veterinary public health (Section 6);
(g)Recommendations applicable to OIE Listed diseases (Sections 8 to 11).
27.Recently, the OIE published the “Guidelines for assessing the risk of non-native animals becoming invasive” to assess the risks arising from alien animals which are not considered as agents that are pathogenic for animals and/or humans.As of September 2012, these guidelines are not included in the OIE Animal Health Codes, and therefore this is not recognized as an international standard within the OIE framework However, the OIE made the guidelines available on its web site for public to use in assessing risks of introduction of alien animal species.[10](The guidelines are accessible at
28.The IPPC and the OIE consider the environment and health of species in wild fauna and flora as appropriate.Authorities established nationally to address issues related to animal (OIE) and plant (IPPC) health are often different authorities than those dealing with environmental issues (CBD). Addressing risks associated with the introduction of alien species requires collaboration among various national authorities, which maybe challenging at the national level. The existing capacity within each country to address invasive alien species, for example, conducting risk analysis, can often be found in the National Plant Protection Organization or the National Veterinary Service which maybe different organizations from where the contact point for the CBD is.
D.FAO Code of Conduct for Responsible Fisheries
29.Regarding aquatic alien animals, such as aquarium species, aquatic species used as live bait and live food, the FAO Fisheries and Aquaculture Department has undertaken a variety of activities and partnerships that constitute a framework for the control and responsible use of alien species. The framework consists of:
(a)An overarching international agreement (Code of Conduct for Responsible Fisheries; FAO 1995a);
(b)Technical guidelines on how to implement the articles of that agreement in relation to alien species (the International Council for the Exploration of the Sea (ICES 1995, 2005) and the Code of Practice on the Introduction and Transfer of Marine Organisms (EIFAC 1988);
(c)Five further technical guidelines on how to address fish health concerns (the Asia Regional Technical Guidelines and Beijing Consensus (FAO/NACA 2000);
(d)An information source to help with assessing possible positive and negative impacts (the FAO Database on Introductions of Aquatic Species (DIAS 2003); and
(e)A mechanism to deal with lack of information (i.e., uncertainty) by application of a precautionary approach to species introductions.
30.FAO Code of Conduct for Responsible Fisheries[11] provides guidance on development of aquaculture and trade of fishes and product of fishes,which is highly relevant to addressing risks associated with introduction of aquatic alien species. This Code is voluntary. However, certain parts of it are based on relevant rules of international law, including those reflected in the United Nations Convention on the Law of the Sea of 10 December 1982, which recognizes the conservation of living resources, and the study, protection and preservation of the marine environment.